Retirees fish from a public dock on the Sacramento River in the Sacramento San Joaquin River Delta in Rio Vista, California

SEC Charges San Diego-Based Investment Adviser

The U.S. Securities and Exchange Commission has announced charges against a San Diego-based investment advisory firm, its chief executive officer, chief compliance officer, and another employee for misleading investors ... Read More

SEC charges brokerage firm

The US Securities and Exchange Commission has announced another round of charges in its ongoing case against several individuals involved in a massive kickback scheme to secure the bond ... Read More

Exclusive: SEC eyes test that may lead to shift away from ‘dark pools’

U.S. securities regulators are considering testing a proposed reform that could drive business to major stock exchanges and away from alternative trading venues such as “dark pools” that critics ... Read More

SEC Goldman Lawyer Says Agency Too Timid on Wall Street Misdeeds

A trial attorney from the Securities and Exchange Commission said his bosses were too “tentative and fearful” to bring many Wall Street leaders to heel after the 2008 credit ... Read More
SEC Probes Threat From Cyber

SEC Probes Threat From Cyber Attacks Against Wall Street

The U.S. Securities and Exchange Commission is examining the exposure of stock exchanges, brokerages and other Wall Street firms to cyber-attacks that have been called a threat to financial ... Read More

SEC Charges Stockbroker and Law Firm Managing Clerk

The Securities and Exchange Commission charged a stockbroker and a managing clerk at a law firm with insider trading around more than a dozen mergers or other corporate transactions ... Read More
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